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12.—(1) Paragraphs (2) and (3) apply in respect of a reference or appeal—
(a)in respect of a decision of the Authority;
(b)notice of which was given to the Tribunal(1) in accordance with the Tribunal Procedure (Upper Tribunal) Rules 2008(2) before the commencement date; and
(c)which the Tribunal had not determined before the commencement date.
(2) Section 133(3) (proceedings before Tribunal: general provision) applies as if—
(a)in subsection (2), for the definition of “the decision maker” there were substituted—
““the decision-maker” means whichever of the FCA, the PRA and the Bank of England would have been the person who would have made the relevant decision if the decision had been made on the commencement date.”;
(b)in subsection (5), “In the case of a disciplinary reference or a reference under section 393(11),” were omitted; and
(c)subsections (6), (6A) and (7A) were omitted.
(3) Section 133A(1) (proceedings before the Tribunal: decision and supervisory notices, etc) applies as if “given by a body” were omitted.
13.—(1) Paragraphs (2) and (3) apply where the Tribunal determines a reference or appeal made on or after the commencement date in respect of a decision of the Authority made before the commencement date.
(2) Section 133 applies as if, in subsection (2), for the definition of “the decision maker” there were substituted—
““the decision-maker” means—
the PRA, where the reference or appeal is in respect of a notice or other matter which is treated by an order made under section 119(3) of the Financial Services Act 2012 as if it had been made the by PRA; or
in any other case, whichever of the FCA, the PRA and the Bank of England would have been the person who would have made the relevant decision if the decision had been made on the commencement date.”.
(3) Section 133A(1) applies as if “given by a body” were omitted.
14.—(1) Paragraph (3) applies if, before the commencement date—
(a)(i)the Tribunal remitted the matter to the Authority with directions to give effect to its determination, or
(ii)where an appeal was made in respect of the determination of the Tribunal, the appeal was determined; and
(b)the Authority had not issued a final notice, a notice of discontinuance or a further written or decision notice in respect of the matter.
(2) Paragraphs (3) and (4) apply if—
(a)the Tribunal determines a reference or appeal to which article 12 or 13 applies and remits the matter to the decision-maker with directions to give effect to its determination; or
(b)where an appeal was made in respect of the determination of the Tribunal in such a case, the appeal is determined.
(3) The decision-maker must take the decision as if it were taking the decision on the commencement date.
(4) The Tribunal must have regard to paragraph (3) in giving directions for the purposes of section 133.
Section 417, amended by S.I. 2010/22, defines “the Tribunal” as meaning the Upper Tribunal.
S.I. 2008/2698, amended by S.I. 2010/747. There are other amending instruments but none is relevant.
Sections 133 and 133A were substituted by S.I. 2010/22 and are amended by the 2012 Act, section 23.
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